Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Hercules Capital, Inc.HTGC · Entity 4164 | Director · Chief Executive Officer | October 09, 2026 | October 13, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Hercules Capital, Inc.
Report date October 09, 2026 · Filed October 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,455,200 |
Ending reported balance
After 2026-10-09 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-10-09 · Tax withholding · Disposed 9,741 · Balance 2,465,852 F1: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026. Row 2 · 2026-10-09 · Tax withholding · Disposed 10,652 · Balance 2,455,200 F1: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on October 9, 2026.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 10, 2017 Filed Jun 13, 2017 15:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,261 | $13.05 | $16,456.05 |
DisclosureSEC source: 0001593968-17-000781 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,263 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on June 10, 2017. Read SEC document |
| May 22, 2017 Filed May 23, 2017 20:18 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 2,928 | $13.31 | $38,971.68 |
DisclosureSEC source: 0001593968-17-000703 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,651 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 20:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 2,822 | $15.08 | $42,555.76 |
DisclosureSEC source: 0001593968-17-000605 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,524 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on April 10, 2017. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 20:58 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 2,570 | $14.85 | $38,164.50 |
DisclosureSEC source: 0001593968-17-000429 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,723 F1 · balance_after: Includes additional Dividend Shares relating to deemed reinvested dividend equivalent rights that accrued on Restricted Stock Units (RSUs) previously granted. Such additional Dividend Shares are in the form of additional RSUs vest and are settled at the same time as the RSUs in respect of which the dividend equivalent rights accrued. Each such additional Dividend Share RSU is the economic equivalent of one share of Hercules Capital, Inc. common stock. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 22:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,297 | $14.69 | $19,052.93 |
DisclosureSEC source: 0001593968-17-000425 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,346 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 10, 2017. Read SEC document |
| March 04, 2017 Filed Mar 7, 2017 16:41 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 800 | $14.82 | $11,856.00 |
DisclosureSEC source: 0001593968-17-000406 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,643 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on March 4, 2017. Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 21:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantRestricted Stock Units | 123,153 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000149 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,153 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Hercules Capital, Inc. stock. F2 · shares: The restricted stock units vest one-third on January 24, 2018 and the remaining two-thirds vest quarterly in equal amounts over the following two years. Vested shares will be delivered to reporting person as soon as reasonably practicable on the earlier of (a) January 24, 2021 and (b) the date (i) reporting person separates from service from Issuer, (ii) dies or becomes disabled or (iii) there is a change in control of the Issuer. Read SEC document |
| January 10, 2017 Filed Jan 12, 2017 18:51 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 11,680 | $14.21 | $165,972.80 |
DisclosureSEC source: 0001593968-17-000086 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,443 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on January 10, 2017. Read SEC document |
| December 10, 2016 Filed Dec 12, 2016 22:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,297 | $13.67 | $17,729.99 |
DisclosureSEC source: 0001593968-16-001307 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,123 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 10, 2016. Read SEC document |
| December 04, 2016 Filed Dec 6, 2016 20:38 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 800 | $13.55 | $10,840.00 |
DisclosureSEC source: 0001593968-16-001277 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,420 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on December 4, 2016. Read SEC document |
| September 10, 2016 Filed Sep 13, 2016 16:49 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 1,297 | $13.53 | $17,548.41 |
DisclosureSEC source: 0001593968-16-001049 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,220 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 10, 2016. Read SEC document |
| September 04, 2016 Filed Sep 6, 2016 20:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 800 | $13.76 | $11,008.00 |
DisclosureSEC source: 0001593968-16-001031 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,517 F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on September 4, 2016. Read SEC document |
| February 09, 2016 Filed Jan 13, 2017 17:31 UTC Amendment | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 276 | $10.32 | $2,848.32 |
DisclosureSEC source: 0001593968-17-000087 · primary_01.xml · nonDerivative · entry 1 Bluestein Scott · CIK 0001505910 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,420 F1 · balance_after: Amount of securities beneficially owned originally reported as 248,420. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.